Guideline A: Submission of Concept Notes

Guideline A: Submission of Concept Notes

Contents

1 The Southern Africa Trust 1

1.1 Vision 1

1.2 Mission 1

1.3 Background 2

1.4 Structure of the Southern Africa Trust 2

1.5 Objectives of Southern Africa Trust Programmes 2

1.6 Financial Allocations Provided by the Southern Africa Trust 2

2 Rules of Calls for Proposals 2

2.1 Eligibility Criteria 2

2.1.1 Eligibility of applicants: who may apply 2

2.1.2 Eligible Projects: Projects for which an application may be made 2

2.2 How to Apply 3

2.2.1 Application form and supporting documents 3

2.2.2 Where and how to send the applications 3

2.2.3 Deadline for receipt of applications 4

2.2.4 Further information 4

2.2.5 Acknowledgement of receipt 4

3 Process after submission of concept notes 4

4 List of Annexes 4

1 The Southern Africa Trust

1.1 vision

The Southern Africa Trust’s vision is that policies and strategies across the region work to end poverty. The overall aim of the Southern Africa Trust is for the poor to have a better say in shaping policies to overcome poverty in southern Africa. The Southern Africa Trust’s goal is for regional civil society policy work to be:

· Effective: The regional impact of policies on poverty will be strengthened.

· Active: Engagement in policy dialogue will be promoted.

· Inclusive: Participation will be widened to include voices that are often excluded.

· Informed: The quality of policy work will be deeper.

· Resourced: Support will be provided.

The purpose of the Southern Africa Trust is therefore to support processes to deepen and widen engagement in policy dialogue with a regional impact on poverty.

1.2 Mission

The mission of the Southern Africa Trust is to:

· Support organisations and processes: provide technical and financial resources to creative organisations and processes that amplify the voices of the poor and excluded in regional policy dialogue;

· Strengthen regional impact: promote a southern African regional identity, regional linkages between civil society organisations, regional policy dialogue, and a regional agenda to overcome poverty and inequality;

· Deepen engagement: stimulate action-research, knowledge sharing, and evidence-based policy proposals to overcome poverty and inequality;

· Widen engagement: facilitate dialogue amongst different interest groups and facilitate regional linking and learning about strategies for effective engagement in policy dialogue; and

· Impact on poverty: profile innovative practices and processes to promote learning about how to maximise the impact of the voices of the poor in policy dialogue, and create opportunities for inclusive policy dialogue to overcome poverty.

1.3 background

Effective policies that have strong popular support are a political outcome of negotiation and bargaining amongst many different interests and constituencies in society. These processes are crucial to building democratic participation and to creating accountable, responsive governance. However, if the voices of the poor are not asserted in these processes, other interests are likely to dominate in both the design and implementation of policies.

The Southern Africa Trust was therefore established in 2005 to support civil society organisations in southern Africa to participate effectively and with credibility in policy dialogue so that the voices of the poor can have a better impact in the development of public policies.

1.4 Structure of the Southern Africa Trust

The Southern Africa Trust is an independent, regional, non-profit agency registered in South Africa. It is governed by a board of trustees draw from the southern Africa region, with an operational centre based in Midrand, South Africa. The Trust’s office is responsible for the implementation of the programmes of the Trust, among them the operating of its Grants Facility. More information about the Trust can be found on www.southernafricatrust.org.

1.5 Objectives of Southern Africa Trust Programmes

The Southern Africa Trust undertakes its mission directly and indirectly through:

· Strategy One: Capacity Building – Improving the capacity of regional civil society organisations to play a more effective role in influencing policies to overcome poverty;

· Strategy Two: Policy Dialogue – Facilitating increased regional policy dialogue amongst civil society organisations, states, and the private sector, focused on overcoming poverty;

· Strategy Three: Evidence-Based Advocacy – Influencing aspects of the regional policy agenda in favour of evidence-backed policy objectives identified by poor and marginalised communities;

· Strategy Four: Creating an Enabling Environment – Promoting innovative practices and processes to build an enabling regional environment for engagement between civil society organisations, states, and the private sector; and

· Strategy Five: Grant-Making – Providing grants to civil society organisations representing the interests of the poor in regionally significant policy development processes.

A full list of the Trust’s strategic change objectives can be found at www.southernafricatrust.org.

1.6 Financial Allocations Provided by the Southern Africa Trust

Maximum grant amounts are provided in specific calls for proposals. The Trust reserves the right not to provide all available funds in grants.

2 Rules of Calls for Proposals

These guidelines set out the rules for the submission, selection and implementation of grant proposals.

2.1 Eligibility Criteria

There are two sets of eligibility criteria, relating to:

· organisations that can apply for a grant, and

· programmes for which a grant may be awarded.

2.1.1 Eligibility of Applicants: Who Can Apply?

In order to be eligible for a grant, applicant organisations or lead organisations in an alliance/coalition/network with other organisations must:

· be a civil society organisation/ alliance/coalition/network rooted and governed in the southern African region; and

· be willing to enter into a partnership agreement with the Southern Africa Trust; and

· be engaged in programmes that have a southern African regional impact on policies related to poverty reduction.

Governmental and intergovernmental agencies (including public corporations and other parastatal organisations but excluding research institutes and statutory agencies such as commissions) will not be eligible under the open call process; however they can participate through the closed call and unsolicited grant processes.

The Trust will accept applications from profit-making businesses in all grant windows but will not fund commercial activities of such organisations and will ensure that legally binding agreements are signed with all partner organisations to the effect that products generated by use of Trust funds are not used for profit-making activities.

The Trust only contracts with legally constituted institutions. In cases where applications are received from alliances, coalitions, networks etc that are not legally constituted and registered, the Trust will contract with a lead organisation and require the consent of the other members of the coalition/network/alliance.

Note: Applicants will be excluded from participation in calls for proposals or the award of grants if, at the time of the call for proposals, they have attempted to obtain confidential information or influence the appraisals committee or grants committee of the Trust during the grant decision-making process.

2.1.2 Eligible Projects: Projects for Which an Application Can be Submitted

Amount

There are no restrictions on the total cost of your programme. However, the maximum grant applied for from the Southern Africa Trust must be within the limits set by the specific call for proposals from the Trust.

Duration

The duration of a project may not exceed 36 months, unless otherwise agreed with the trust or indicated in the specific call for proposals.

Geographical Location

Only programmes whose terrain of activity is within the Southern African region or whose activities will have a direct impact on the southern Africa region will be elegible.

Sectors, Sub-sectors and Themes

Refer to the specific call for proposals.

Type of Activities that are Not Eligible

The Trust does not exclude any specific types of activities except overtly party-political campaigning activities. Priority will be given to innovative activities.

Number of Proposals and Grants per Applicant

An applicant may not submit more than one proposal in a specific call for proposals, unless indicated in the relevant call for proposals.

An applicant may not be given more than one grant under a specific call for proposals, unless otherwise indicated in the specific call for proposals.

What the Trust Funds

Under the open calls process the Trust provides project funding to partners. Funding for staff salaries, office space, telephone/fax and other administrative costs will be provided only if they are directly related to the implementation of the proposed project.

However, for closed calls, unsolicited proposals, and discretionary funding, non-project-related salary and administrative costs may be considered for funding.

The Trust will not fund the purchases of land or buildings and will not fund commercial, profit-making activities.

2.2 How to Apply

2.2.1 Application Form and Supporting Documents

Proposals must be submitted exactly according to the application form attached to these guidelines (refer to Annex A1).

The application form can be also be accessed on www.southernafricatrust.org or received electronically. Please address your request for this form by:

Email:

Tel: +27 11 318 1012

Applicants should keep strictly to the format of the application form.

Proposals must be submitted in English or Portuguese or French.

Please complete the application form carefully and as clearly as possible so that we can assess it properly. Be concise and to-the-point, using straight-forward language to ensure that the concept note is clear, particularly about the purpose of the proposed project or programme and the impact/difference that it will make to policies for poverty reduction.

Applications must be type-written. Hand-written applications will not be accepted.

Supporting documents

Application forms (Annex A1) need not be supported by any attached documentation.

2.2.2 Where and How to Send the Applications

Applications must be received in a sealed envelope addressed to the Grants Manager and sent by registered mail, courier or by hand-delivery at the address below:

Postal address

Southern Africa Trust

Postnet Suite 100

Private Bag X121

Halfway House

Midrand

1685

South Africa

Address for hand delivery and courier (between 09h00 and 16h00 only)

Southern Africa Trust
Midridge Office Estate North: Building 4

International Business Gateway Park

6th Road (off New Road)

Midrand

South Africa

Applications sent by any other means (e.g. by fax or by e-mail) will be not be accepted.

Applications (application form, budget, and supporting documents) must be submitted in one original and one copy.

The outer envelope must bear the reference number of the call for proposals, as well as the full name and address of the applicant.

2.2.3 Deadline for Receipt of Applications

A strict deadline for the receipt of applications will be provided in the call for proposals. Any application received after the deadline will not be considered by the appraisals committee.

2.2.4 Further Information

Questions of clarification may be raised by:

· Sending an e-mail before the deadline for the receipt of proposals to , indicating clearly the reference of the call for proposals; or

· Calling the Trust’s call centre at +27 11 318 1012.

2.2.5 Acknowledgement of Receipt

Following the opening of the proposal, the Trust will send an acknowledgement of receipt to all applicants, indicating whether or not their application was received prior to the deadline.

3 Process After Submission of Concept Notes

Once the Southern Africa Trust has reviewed and considered your concept note, you may be asked for more information to support your concept note or you may be asked to submit a full proposal in the format required by the Trust. Your full proposal may then be reviewed and considered by the Trust, whose Grants Committee will make a final decision about the distribution of grants. Alternatively, the Trust will inform you that it is not able to provide a grant in support of your concept note.

Applicants will be informed in writing of the decision of the Trust’s Grants Committee concerning their application. A decision not to award a grant will be on the following grounds, amongst others:

· the application was received after the deadline;

· the application was not relevant (e.g. the proposed activities were not within the scope of the thematic areas or strategic intent given in the call for proposals)

· the application did not meet the requirements of the call for proposals, e.g. the project exceeds the maximum duration allowed; the requested contribution is higher than the maximum allowed, etc);

· the operational capacity (e.g. number of staff members, equipment, venues, etc) of the applicant to administer the project is deemed insufficient;

· The application compared unfavourably against other applications received in competition for a limited total amount of grant allocations available under the call.

The Grants Committee’s decision not to accept an application or not to award a grant will be final and no correspondence will be entered into.

The date on which the Trust will announce the Grants Committee’s decision following the completion of the proposal appraisals procedure will normally be four months after the deadline for the submission of concept notes. However, this time-frame is only indicative and may vary depending on the particular circumstances of a specific call for proposals.

4 List of Annexes

Annex A1 : Grant Application Form : Concept Note